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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The totals are adjusted to account for the fact that each parent's entries may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Citizens Bank, N.A.Citizens Financial Groupconsumer protection violation2015CFPB$18,500,000
Citizens Bank, National AssociationCitizens Financial Groupbanking violation2015OCC$2,000,000
CITIZENS BUSINESS BANKCVB Financialbanking violation2009FDIC$16,200
Citizens FinancialCitizens Financial Groupconsumer protection violation2013private lawsuit-federal$137,500,000
Citizens Financial GroupCitizens Financial Groupwage and hour violation2014private lawsuit-federal$11,501,500
CITIZENS FINANCIAL GROUP, INC.Citizens Financial Groupworkplace safety or health violation2017OSHA$6,338
Citizens Republic Bancorp Inc.Huntington Bancsharesbanking violation2011DOJ_RIGHTS$3,600,000
City National BankRoyal Bank of Canadabanking violation2010OCC$5,250
City National BankRoyal Bank of Canadabanking violation2005OCC$750,000
City National BankRoyal Bank of Canadadiscriminatory practices (non-employment)2023DOJ_RIGHTS$31,000,000
City National BankRoyal Bank of Canadabanking violation2024OCC$65,000,000
Claritas Investments Ltd.Principal Financialinvestor protection violation2013SEC$144,819
Clearstream Banking SADeutsche Borseeconomic sanction violation2014OFAC$152,000,000
Cleco CorpMacquarieworkplace safety or health violation2012MSHA$9,310
Cleco CorporationMacquarieenergy market violation2003FERC$2,850,000
Cleco CorporationMacquariewage and hour violation2017WHD$12,190
CLECO CORPORATIONMacquarieworkplace safety or health violation2017OSHA$8,626
CLECO CORPORATIONMacquarieworkplace safety or health violation2017OSHA$5,545
Cleco PowerMacquarieutility administrative violation2004LA-PSC$18,000,000
Cleco Power, LLCMacquarieenergy market violation2007FERC$2,000,000
CMFG Life Insurance Co.CUNA Mutualinsurance violation2016MD-INS$38,000
CMFG Life Insurance Co.CUNA Mutualinsurance violation2016MN-FIN$15,000
CMFG Life Insurance Co.CUNA Mutualinsurance violation2016MO-INS$81,500
CMFG LIFE INSURANCE COMPANYCUNA Mutualinsurance violation2014VA-INS$21,000
CMFG Life Insurance CompanyCUNA Mutualinsurance violation2019VT-FIN$231,000
CMFG Life Insurance CompanyCUNA Mutualinsurance violation2021VA-INS$7,500
CNG FINANCIAL CORPORATIONCNG Financiallabor relations violation2001NLRB$6,000
CNO Services, LLCCNO Financialwage and hour violation2010WHD$69,610
Coast National InsuranceZurich Insurancewage and hour violation2002private lawsuit-state$18,000,000
Coast National Insurance Co.Zurich Insuranceinsurance violation2009AZ-DIFI$38,000
Coast National Insurance Co.Zurich Insuranceinsurance violation2005CA-INS$120,000
Coast National Insurance Co.Zurich Insuranceinsurance violation2009CA-INS$150,000
Coinbase Inc.Coinbase Global Inc.investor protection violation2021CFTC$6,500,000
Coinbase Inc.Coinbase Global Inc.anti-money-laundering deficiencies2023NY-DFS$100,000,000
Coinbase, Inc.Coinbase Global Inc.consumer protection violation2021FL-OFR$6,500
Coinbase, Inc.Coinbase Global Inc.investor protection violation2023NJ-AG$5,000,000
Cole Taylor BankFifth Third Bancorpbanking violation2014FED$3,510,000
Colonial County Mutual Insurance Company and Titan Insurance Services Inc.Nationwideinsurance violation2018TX-INS$50,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc.Ameriprise Financialinvestor protection violation2005SEC$140,000,000
Columbia Management Investment Services Corp.Ameriprise Financialinvestor protection violation2017SEC$250,000
Combined Insurance Company of AmericaChubb Limitedwage and hour violation2010private lawsuit-federal$6,000,000
Combined Insurance Company of AmericaChubb Limitedemployment discrimination2005private lawsuit-federal$8,500,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2006FL-OFR$9,750
Combined Insurance Company of AmericaChubb Limitedinsurance violation2004OR-FIN$10,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2006OR-FIN$9,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2005PA-INS$50,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2002VA-INS$27,000
Combined Insurance Company Of AmericaChubb Limitedinsurance violation2014WA-INS$5,000
Combined Insurance Company of AmericaChubb Limitedinsurance violation2021WA-INS$10,000
Combined Life Insurance Company of New YorkChubb Limitedinsurance violation2015NY-DFS$50,000
Combined Life Insurance Company of New YorkChubb Limitedinsurance violation2017NY-DFS$23,740
Comenity Bank and Comenity Capital BankBread Financial Holdingsbanking violation2015FDIC$63,950,000
Comerica BankComericatoxic securities abuses2008MI-AG$110,000
Comerica BankComericaconsumer protection violation2014private lawsuit-federal$14,580,000
Comerica IncorporatedComericabenefit plan administrator violation2013private lawsuit-federal$11,000,000
Comerica IncorporatedComericabenefit plan administrator violation2007private lawsuit-federal$2,020,000
Comerica SecuritiesComericainvestor protection violation2015FINRA$347,757
Comerica Securities IncComericawage and hour violation2010MI-LEO$24,968
Comerica Securities, Inc.Comericainvestor protection violation2015SEC$60,000
Comerica Securities, Inc.Comericainvestor protection violation2019SEC$186,377
Comerica Securities, Inc.Comericainvestor protection violation2008FINRA$750,000
COMMERCE & INDUSTRY INSURANCEAmerican International Groupinsurance violation2012VA-INS$44,518
Commerce and Industry Insurance Co.American International Groupinsurance violation2005CO-INS$6,000
Commerce and Industry Insurance Co.American International Groupinsurance violation2010ME-INS$11,111
COMMERCE AND INDUSTRY INSURANCE COMPANYAmerican International Groupinsurance violation2001FL-OFR$11,500
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2014NY-DFS$48,500
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2007OR-FIN$10,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2012OR-FIN$20,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2010TX-INS$60,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2014TX-INS$5,800
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$34,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2015TX-INS$15,000
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2016TX-INS$12,500
Commerce and Industry Insurance CompanyAmerican International Groupinsurance violation2018TX-INS$20,000
Commerce Bank NACommerce Bancsharesconsumer protection violation2013private lawsuit-federal$18,300,000
CommerceWest BankCommerceWest Bankfraud2015DOJ_CRIMINAL$4,900,000
CommerzbankCommerzbankeconomic sanction violation2015NY-DFS$610,000,000
COMMERZBANK AGCommerzbankbanking violation2015FED$200,000,000
Commerzbank AGCommerzbankeconomic sanction violation2015DOJ_CRIMINAL$642,000,000
Commerzbank AGCommerzbankeconomic sanction violation2014OFAC$258,660,796
Commerzbank AGCommerzbankeconomic sanction violation2004OFAC$5,500
Commerzbank AGCommerzbankinvestor protection violation2018CFTC$12,000,000
Commerzbank AGCommerzbankeconomic sanction violation2011OFAC$175,500
Commerzbank AGCommerzbankeconomic sanction violation2015NY-MANDA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $171,000,000
Commerzbank AGCommerzbankprice-fixing or anti-competitive practices2022private lawsuit-federal$7,000,000
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2000CO-INS$20,750
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2011MD-INS$30,000
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2011MD-INS$30,000
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2015MD-INS$10,000
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2010MO-INS$188,976
Commonwealth Land Title Insurance Co.Fidelity National Financialinsurance violation2018MO-INS$22,500
Commonwealth Land Title Insurance Co. et al.Fidelity National Financialinsurance violation2006CA-INS$4,499,997
Commonwealth Land Title Insurance Co. et al.Fidelity National Financialinsurance violation2011MD-INS$30,000
COMMONWEALTH LAND TITLE INSURANCE CO. ET AL.Fidelity National Financialinsurance violation2006VA-INS$300,000
COMMUNICORP INC.Aflacworkplace safety or health violation2011OSHA$9,900
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2019CO-INS$147,775
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2016DE-INS$487,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2017KS-INS$100,000
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2012MT-FIN$12,500
Companion Life Insurance Co.BlueCross BlueShield of South Carolinainsurance violation2019NY-DFS$648,122
COMPANION LIFE INSURANCE CO.BlueCross BlueShield of South Carolinainsurance violation2016VA-INS$44,220
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.